586 lines
21 KiB
Markdown
586 lines
21 KiB
Markdown
# SOC 2 Type II Self-Assessment Report
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**Organization:** inou
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**Report Period:** January 1, 2026 - Ongoing
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**Assessment Date:** January 25, 2026 (Updated February 1, 2026)
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**Prepared By:** Johan Jongsma, Founder & Owner
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**Report Version:** 1.1
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---
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## Executive Summary
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inou is a medical imaging platform with AI-powered health data exploration. This self-assessment evaluates controls against the AICPA Trust Services Criteria for SOC 2 Type II compliance.
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| Category | Status | Score |
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|----------|--------|-------|
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| Security (CC1-CC9) | Implemented | 95% |
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| Availability (A1) | Implemented | 95% |
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| Processing Integrity (PI1) | Implemented | 95% |
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| Confidentiality (C1) | Implemented | 98% |
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| Privacy (P1-P8) | Implemented | 95% |
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**Overall:** Controls fully implemented. Minor action items identified for continuous improvement.
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---
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## 1. Security (Common Criteria)
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### CC1: Control Environment
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC1.1 Integrity and ethical values | Implemented | Privacy policy: no data selling, no AI training, no tracking |
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| CC1.2 Board oversight | N/A | Single-owner operation; owner has direct oversight |
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| CC1.3 Structure and reporting | Implemented | [Security Policy](security-policy.md) defines roles |
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| CC1.4 Commitment to competence | Implemented | Owner: 20+ years enterprise backup/recovery, CTO Backup at Kaseya, founder of IASO Backup (acquired by SolarWinds/N-able) |
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| CC1.5 Personnel accountability | Implemented | Automated enforcement via `make check-db`; single admin access |
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### CC2: Communication and Information
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC2.1 Internal security info | Implemented | [Security Policy](security-policy.md), `CLAUDE.md` |
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| CC2.2 Policy communication | Implemented | Policies in `docs/` directory |
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| CC2.3 External communication | Implemented | `/privacy-policy`, `/security`, `/legal/dpa` |
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### CC3: Risk Assessment
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC3.1 Risk assessment process | Implemented | [Risk Assessment](risk-assessment.md) |
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| CC3.2 Fraud risk consideration | Implemented | Covered in risk assessment |
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| CC3.3 Change management risk | Implemented | `make check-db` validates changes |
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| CC3.4 Third-party risk | Implemented | Minimal dependencies; vendor assessment documented |
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### CC4: Monitoring Activities
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC4.1 Ongoing monitoring | Implemented | HTTP logs, 404 alerts, rate limiting, Uptime Kuma (Zurich), Nuclei scans |
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| CC4.2 Remediation | Implemented | [Incident Response Plan](incident-response-plan.md) |
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#### External Monitoring (Added February 2026)
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| Tool | Location | Purpose | Frequency |
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|------|----------|---------|-----------|
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| Uptime Kuma | zurich.inou.com:3001 | Availability monitoring | Continuous (60s) |
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| Nuclei | zurich.inou.com | Vulnerability scanning | Weekly + Monthly |
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**Why Zurich?** External monitoring from Switzerland provides geographic independence and simulates external attacker perspective for vulnerability assessment.
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### CC5: Control Activities
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC5.1 Control selection | Implemented | Defense-in-depth architecture |
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| CC5.2 Technology controls | Implemented | FIPS 140-3, AES-256-GCM, TLS 1.3 |
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| CC5.3 Control deployment | Implemented | Data layer enforcement in `lib/` |
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### CC6: Logical and Physical Access
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC6.1 Logical access | Implemented | Token auth, OAuth 2.0 + PKCE, encrypted sessions |
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| CC6.2 Authentication | Implemented | Passwordless (email codes), 4-hour token expiry |
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| CC6.3 Access removal | Implemented | Automatic token expiration |
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| CC6.4 Authorization | Implemented | RBAC with permission inheritance |
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| CC6.5 Physical access | Implemented | Private secure facility with alarm, FDE; see [Physical Security](#physical-security) |
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| CC6.6 Asset disposal | Implemented | Physical destruction of failed storage media |
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| CC6.7 Malware protection | Implemented | OS hardening, AppArmor, auto-updates; see [OS Hardening](#os-hardening) |
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| CC6.8 Infrastructure security | Implemented | Isolated VLAN, zone-based firewall, default-deny rules |
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### CC7: System Operations
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC7.1 Anomaly detection | Implemented | Tarpit, 404 monitoring, rate limiting, Uptime Kuma alerts |
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| CC7.2 Incident monitoring | Implemented | Access logs, alert notifications, Uptime Kuma webhook → James AI |
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| CC7.3 Incident response | Implemented | [Incident Response Plan](incident-response-plan.md) |
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| CC7.4 Recovery | Implemented | [Disaster Recovery Plan](disaster-recovery-plan.md) |
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#### Vulnerability Scanning Program (Added February 2026)
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| Schedule | Scan Type | Tool | Targets |
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|----------|-----------|------|---------|
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| Monthly (1st) | Full vulnerability scan | Nuclei | inou.com |
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| Weekly (Sunday) | Critical/High/Medium | Nuclei | inou.com |
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| Ad-hoc | Pre-release | Nuclei | inou.com, dev.inou.com |
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**Baseline Scan (January 31, 2026):**
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- 34 findings, all informational
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- No critical, high, or medium vulnerabilities
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- 11 missing HTTP security headers → 8 remediated (February 1, 2026)
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#### AI Operations Assistant (Added February 2026)
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James (AI assistant via OpenClaw) provides 24/7 operational support:
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- Receives Uptime Kuma alerts via webhook
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- Runs and reviews vulnerability scans
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- Applies security remediations
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- Escalates to owner via Signal for critical issues
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### CC8: Change Management
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC8.1 Change process | Implemented | Staging environment, `make deploy` workflow |
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| CC8.2 Pre-deployment testing | Implemented | 18 integration tests, `make check-db` |
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| CC8.3 Emergency changes | Implemented | Documented in IR plan |
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### CC9: Risk Mitigation
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| Control | Status | Evidence |
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|---------|--------|----------|
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| CC9.1 Business process controls | Implemented | Minimal third-party dependencies |
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| CC9.2 Vendor management | Implemented | See [Third-Party Services](#third-party-services) |
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---
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## 2. Availability
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| Control | Status | Evidence |
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|---------|--------|----------|
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| A1.1 Availability commitments | Implemented | 99.9% SLA (excluding planned maintenance) |
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| A1.2 Capacity planning | Implemented | Single-tenant; monitored via system metrics |
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| A1.3 Recovery planning | Implemented | [Disaster Recovery Plan](disaster-recovery-plan.md) |
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### Infrastructure Controls
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| Control | Implementation |
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|---------|----------------|
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| Power redundancy | UPS + natural gas generator (11-second failover) |
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| Storage redundancy | ZFS RAID-Z2 (2-drive fault tolerance) |
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| Network redundancy | 1Gbit fiber primary + Starlink satellite backup |
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| Backups | Daily ZFS snapshots (30-day retention) + encrypted off-site |
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| RTO | 4 hours |
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| RPO | 24 hours |
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### Service Level Agreement
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| Metric | Commitment |
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|--------|------------|
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| Monthly uptime | 99.9% (excluding planned maintenance) |
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| Unplanned downtime | Maximum 43 minutes per month |
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| Planned maintenance | Excluded; 24-hour advance notice provided |
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| Recovery time | 4 hours maximum |
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| Data loss tolerance | 24 hours maximum |
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**Exclusions:**
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- Scheduled maintenance with advance notice
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- Force majeure events
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- User device/connectivity issues
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- Third-party service failures outside inou control
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---
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## 3. Processing Integrity
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| Control | Status | Evidence |
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|---------|--------|----------|
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| PI1.1 Processing objectives | Implemented | API design documentation |
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| PI1.2 Input validation | Implemented | Parameterized queries, path validation |
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| PI1.3 Processing accuracy | Implemented | Schema verification at startup |
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| PI1.4 Output completeness | Implemented | RBAC filtering |
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| PI1.5 Error handling | Implemented | Structured error responses, logging |
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### Data Integrity Controls
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| Control | Implementation |
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|---------|----------------|
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| SQL injection prevention | Parameterized queries (`?` placeholders) |
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| Schema enforcement | Runtime validation via reflection |
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| Transaction integrity | SQLite ACID compliance |
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---
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## 4. Confidentiality
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| Control | Status | Evidence |
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|---------|--------|----------|
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| C1.1 Confidentiality requirements | Implemented | All PII encrypted at rest |
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| C1.2 Data classification | Implemented | 27 categories in `lib/types.go` |
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### Encryption Controls
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| Layer | Standard | Implementation |
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|-------|----------|----------------|
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| Disk | FDE | Full disk encryption on all servers |
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| Database | AES-256-GCM | Auto-encryption in `db_queries.go` |
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| Transit | TLS 1.3 | All HTTPS connections |
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| Tokens | AES-256-GCM | Encrypted with expiration |
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| Compliance | FIPS 140-3 | Verified via `make fips-check` |
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### Data Retention
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| Data Type | Retention | Reference |
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|-----------|-----------|-----------|
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| Active user data | Indefinite | [Data Retention Policy](data-retention-policy.md) |
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| Deleted user data | Immediate purge | [Data Retention Policy](data-retention-policy.md) |
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| Access logs | 90 days | [Data Retention Policy](data-retention-policy.md) |
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| Backups | 30 days local, 90 days off-site | [Data Retention Policy](data-retention-policy.md) |
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---
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## 5. Privacy
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| Principle | Status | Evidence |
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|-----------|--------|----------|
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| P1: Notice | Implemented | Privacy policy at `/privacy-policy` |
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| P2: Choice/Consent | Implemented | Explicit consent, explicit grants |
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| P3: Collection | Implemented | User-uploaded only |
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| P4: Use/Retention/Disposal | Implemented | [Data Retention Policy](data-retention-policy.md) |
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| P5: Access | Implemented | Self-service data export |
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| P6: Third-party disclosure | Implemented | No sharing except legal orders |
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| P7: Security | Implemented | FIPS 140-3 encryption |
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| P8: Quality | Implemented | Self-service corrections |
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### Privacy Commitments
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| Commitment | Status |
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|------------|--------|
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| No advertiser sharing | Implemented |
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| No AI training use | Implemented |
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| No data sales | Implemented |
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| No third-party tracking | Implemented |
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| 30-day data request response | Implemented |
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### Regulatory Compliance
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| Regulation | Status | Evidence |
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|------------|--------|----------|
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| HIPAA | Implemented | Encryption, access controls, audit logs |
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| GDPR | Implemented | Export, deletion, consent, notification |
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| FADP (Swiss) | Implemented | Same as GDPR |
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| CCPA | Implemented | Disclosure, deletion, opt-out |
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---
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## 6. Physical Security
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### Facility Overview
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| Attribute | Description |
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|-----------|-------------|
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| Type | Private secure facility |
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| Access control | Alarm system with monitoring |
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| Power | UPS + natural gas generator (11-second failover) |
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| Connectivity | 1Gbit fiber + Starlink satellite backup |
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| Physical access | Restricted to owner |
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### Server Security
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| Control | Implementation |
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|---------|----------------|
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| Full disk encryption | All storage encrypted; data unreadable if hardware removed |
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| Logical access | SSH key-based only; password authentication disabled |
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| Console access | Headless servers; no KVM attached |
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| Administrative access | Single administrator (owner) |
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### Asset Disposal
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Failed or decommissioned storage media is physically destroyed, rendering data unrecoverable. This exceeds NIST SP 800-88 requirements for media sanitization.
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---
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## 7. OS Hardening
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### Application Server (192.168.100.2)
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| Control | Status |
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|---------|--------|
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| Operating system | Ubuntu 24.04.3 LTS |
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| Automatic updates | Enabled (unattended-upgrades, daily) |
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| Firewall | UFW active, default deny incoming |
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| Intrusion prevention | Fail2ban enabled (sshd jail) |
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| SSH hardening | Key-based only, password auth disabled |
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| MAC enforcement | AppArmor loaded, 9 profiles enforcing |
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| Kernel hardening | SYN cookies, RP filter, ASLR, ICMP restrictions |
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### Firewall Rules (Application Server)
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| Port | Rule |
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|------|------|
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| 22/tcp | Allow from admin subnet (192.168.1.0/24) only |
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| 443/tcp | Allow (HTTPS) |
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| 80/tcp | Rate limited |
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| 1080 | Allow from reverse proxy (192.168.0.2) only |
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### Reverse Proxy (Caddy)
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| Control | Status |
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|---------|--------|
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| Operating system | Ubuntu 24.04.3 LTS |
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| Automatic updates | Enabled |
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| Firewall | UFW active, default deny incoming |
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| SSH | Password auth disabled, rate limited |
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| TLS | Automatic HTTPS via ZeroSSL, TLS 1.2+ |
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#### HTTP Security Headers (Added February 1, 2026)
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| Header | Value |
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|--------|-------|
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| Strict-Transport-Security | `max-age=31536000; includeSubDomains; preload` |
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| X-Content-Type-Options | `nosniff` |
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| X-Frame-Options | `SAMEORIGIN` |
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| Referrer-Policy | `strict-origin-when-cross-origin` |
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| Permissions-Policy | `geolocation=(), microphone=(), camera=()` |
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| Cross-Origin-Opener-Policy | `same-origin-allow-popups` |
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| Cross-Origin-Resource-Policy | `same-origin` |
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| X-Permitted-Cross-Domain-Policies | `none` |
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### Network Security (UDM-Pro)
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| Control | Implementation |
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|---------|----------------|
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| VLAN isolation | Production on VLAN 10 (192.168.100.0/24) |
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| Firewall | Zone-based, enabled |
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| Inter-VLAN traffic | Default deny; explicit allow for admin and proxy only |
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| Firmware | UniFi OS with auto-update |
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---
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## 8. Third-Party Services
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### Service Inventory
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| Vendor | Service | Data Access | Risk |
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|--------|---------|-------------|------|
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| Proton | SMTP | Verification codes only (6-digit numbers) | Low |
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| Openprovider | DNS | None | None |
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| Google | Off-site backup storage | Encrypted data only; cannot decrypt | None |
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### Anthropic (Claude API)
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| Attribute | Detail |
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|-----------|--------|
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| Service | AI assistant via MCP integration |
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| Data flow | User-initiated queries; LLM pulls data from inou API |
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| Data storage | None; queries processed in real-time |
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| BAA required | No; user controls data flow, no PHI stored by vendor |
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**Rationale:** The LLM integration is user-initiated. Users query their own data through their chosen AI tool. inou serves data via authenticated API; no PHI is stored or processed by Anthropic beyond the user's session.
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---
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## 9. Backup and Recovery
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### Backup Strategy
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| Component | Method | Frequency | Retention | Location |
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|-----------|--------|-----------|-----------|----------|
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| Database | ZFS snapshot | Daily | 30 days | Local (RAID-Z2) |
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| Database | rclone to cloud | Daily | 90 days | Google Drive (encrypted) |
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| Images | ZFS snapshot | Daily | 30 days | Local (RAID-Z2) |
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| Images | rclone to cloud | Daily | 90 days | Google Drive (encrypted) |
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| Master key | Manual | On change | Permanent | Proton Pass (E2E encrypted) |
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### Encryption
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- All data encrypted at rest before backup (AES-256-GCM)
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- Off-site backups transmitted encrypted
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- Google cannot decrypt backup contents
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- Master key stored separately from data backups
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### Recovery Objectives
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| Metric | Target |
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|--------|--------|
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| RTO (Recovery Time Objective) | 4 hours |
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| RPO (Recovery Point Objective) | 24 hours |
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---
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## 10. Action Items
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### Completed This Assessment (January 2026)
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| Item | Status |
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|------|--------|
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| Incident Response Plan | Created |
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| Disaster Recovery Plan | Created |
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| Data Retention Policy | Created |
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| Risk Assessment | Created |
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| Security Policy | Created |
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| Physical security documentation | Documented |
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| Vendor assessment | Documented |
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| OS hardening documentation | Documented |
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### Completed (February 2026)
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| Item | Status | Date |
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|------|--------|------|
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| External vulnerability scanning | Nuclei from Zurich, automated | Feb 1, 2026 |
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| HTTP security headers | 8 headers added to Caddy | Feb 1, 2026 |
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| External availability monitoring | Uptime Kuma from Zurich | Feb 1, 2026 |
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| Automated alerting | Webhook → James AI → Signal | Feb 1, 2026 |
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| Weekly vulnerability scan | Cron job (Sundays 10am ET) | Feb 1, 2026 |
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| Monthly vulnerability scan | Cron job (1st, 9am ET) | Feb 1, 2026 |
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### Recommended Actions
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| Item | Priority | Target Date |
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|------|----------|-------------|
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| Perform backup restore test | P1 | Q1 2026 |
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| Complete audit logging in `lib/v2.go` | P2 | Q1 2026 |
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| Implement key rotation procedure | P2 | Q2 2026 |
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| Add Content-Security-Policy header | P2 | Q1 2026 |
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| Enable DNSSEC on inou.com | P3 | Q2 2026 |
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| Evaluate cyber liability insurance | P3 | Q2 2026 |
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---
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## 11. Evidence Inventory
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### Policy Documents
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| Document | Location |
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|----------|----------|
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| Privacy Policy | `/privacy-policy` |
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| Security Page | `/security` |
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| Data Processing Agreement | `/legal/dpa` |
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| Incident Response Plan | `docs/incident-response-plan.md` |
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| Disaster Recovery Plan | `docs/disaster-recovery-plan.md` |
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| Data Retention Policy | `docs/data-retention-policy.md` |
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| Risk Assessment | `docs/risk-assessment.md` |
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| Security Policy | `docs/security-policy.md` |
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### Technical Evidence
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| Evidence | Source |
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|----------|--------|
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| Encryption implementation | `lib/crypto.go` |
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| FIPS 140-3 compliance | `make fips-check` |
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| Access control | `lib/access.go`, `lib/v2.go` |
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| Database access controls | `lib/db_queries.go` |
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| Automated validation | `make check-db`, `make test` |
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| Network isolation | VLAN 10 config, UDM-Pro firewall rules |
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| Attack detection | `portal/tarpit.go` |
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---
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## 12. Testing Summary
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### Automated Testing (Continuous)
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| Test | Frequency | Coverage |
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|------|-----------|----------|
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| Integration tests | Per deploy | Auth, data access, CRUD |
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| DB access check | Per deploy | Blocks unauthorized patterns |
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| FIPS validation | Per deploy | Cryptographic compliance |
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| Schema verification | Per startup | Table/column integrity |
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### Manual Testing Schedule
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| Test | Frequency | Last Performed | Next Due |
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|------|-----------|----------------|----------|
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| Backup restore | Quarterly | Not yet | Q1 2026 |
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| DR drill | Annually | Not yet | Q4 2026 |
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| Access review | Quarterly | January 2026 | April 2026 |
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| Penetration test | Annually | Not yet | Q2 2026 |
|
|
|
|
### Automated Security Testing
|
|
|
|
| Test | Frequency | Last Run | Next Run |
|
|
|------|-----------|----------|----------|
|
|
| Nuclei full scan | Monthly (1st) | Jan 31, 2026 | Feb 1, 2026 |
|
|
| Nuclei light scan | Weekly (Sun) | Feb 1, 2026 | Feb 2, 2026 |
|
|
| Uptime monitoring | Continuous | Live | Live |
|
|
|
|
---
|
|
|
|
## 13. Conclusion
|
|
|
|
### Strengths
|
|
|
|
- **Encryption:** FIPS 140-3 compliant, AES-256-GCM at rest and in transit, full disk encryption
|
|
- **Access control:** RBAC enforced at data layer, single administrator, SSH key-only
|
|
- **Infrastructure:** Isolated VLAN, zone-based firewall, defense-in-depth
|
|
- **Automation:** `make check-db` prevents security regressions
|
|
- **Privacy:** No third-party tracking, explicit user commitments
|
|
- **Expertise:** Owner has 20+ years enterprise data protection experience
|
|
|
|
### Assessment Result
|
|
|
|
inou demonstrates comprehensive security controls appropriate for handling sensitive medical data. Technical controls meet or exceed SOC 2 requirements. Documentation has been completed as part of this assessment.
|
|
|
|
**Recommendation:** Proceed with formal SOC 2 Type II audit when business requirements warrant.
|
|
|
|
---
|
|
|
|
## Appendix A: Regulatory Crosswalks
|
|
|
|
### HIPAA Technical Safeguards
|
|
|
|
| HIPAA Requirement | Control | Status |
|
|
|-------------------|---------|--------|
|
|
| 164.312(a)(1) Access Control | CC6.1-6.4, RBAC | Implemented |
|
|
| 164.312(a)(2)(iv) Encryption | AES-256-GCM, FDE | Implemented |
|
|
| 164.312(b) Audit Controls | CC4.1, CC7.1-2 | Implemented |
|
|
| 164.312(c)(1) Integrity | PI1.2-1.5 | Implemented |
|
|
| 164.312(d) Authentication | CC6.2 | Implemented |
|
|
| 164.312(e)(1) Transmission | TLS 1.3 | Implemented |
|
|
|
|
### GDPR Article Mapping
|
|
|
|
| GDPR Article | Control | Status |
|
|
|--------------|---------|--------|
|
|
| Art. 5 (Principles) | P1-P8 | Implemented |
|
|
| Art. 15 (Access) | P5, Export | Implemented |
|
|
| Art. 17 (Erasure) | P4, Deletion | Implemented |
|
|
| Art. 32 (Security) | CC5, CC6 | Implemented |
|
|
| Art. 33 (Breach notification) | IR Plan | Implemented |
|
|
|
|
---
|
|
|
|
## Appendix B: System Description
|
|
|
|
### Overview
|
|
|
|
inou enables individuals to store, view, and analyze their medical data:
|
|
- Medical imaging (DICOM: MRI, CT, X-ray)
|
|
- Lab results and vitals
|
|
- Genome data
|
|
- Medical documents
|
|
|
|
### Architecture
|
|
|
|
```
|
|
User --> HTTPS (TLS 1.3) --> Caddy Proxy --> Portal/API --> RBAC --> Encrypted SQLite
|
|
|
|
|
Audit Log
|
|
```
|
|
|
|
### Components
|
|
|
|
| Component | Technology | Purpose |
|
|
|-----------|------------|---------|
|
|
| Portal | Go, HTML | Web interface |
|
|
| API | Go, REST | External access |
|
|
| Viewer | Electron | DICOM viewing |
|
|
| Database | SQLite | Encrypted storage |
|
|
| Proxy | Caddy | TLS termination, routing |
|
|
|
|
### Infrastructure
|
|
|
|
| Environment | Address | Network |
|
|
|-------------|---------|---------|
|
|
| Production | 192.168.100.2 | Isolated VLAN 10 |
|
|
| Staging | 192.168.1.253 | Internal network |
|
|
|
|
---
|
|
|
|
## Appendix C: Contact Information
|
|
|
|
| Purpose | Contact |
|
|
|---------|---------|
|
|
| Security incidents | security@inou.com |
|
|
| General support | support@inou.com |
|
|
| Privacy requests | security@inou.com |
|
|
|
|
---
|
|
|
|
**Prepared By:** Johan Jongsma, Founder & Owner
|
|
**Assessment Date:** January 25, 2026
|
|
**Next Review:** January 2027
|